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WARNING! Impending Investigation: DAREN DORVAL and LEGEND SECURITIES

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24
Aug

WARNING! Impending Investigation: DAREN DORVAL and LEGEND SECURITIES

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Israels & Neuman, PLC Investigates Daren Dorval (CRD# 4324418) of Legend Securities, Inc.

 

Have you lost money with financial advisor Daren Dorval (CRD# 4324418) of Legend Securities, Inc.?  We are investigating allegations made by various customers related to Daren Dorval.  Daren Dorval’s CRD report, a public record maintained by FINRA, states that Mr. Dorval currently is a party to three pending FINRA arbitration lawsuits, brought by three different customers.  The suits request aggregate damages of $660,000.00.  The suits make allegations of churning, stock manipulation, improper use of margin, failure to honor instructions, unsuitable investments, overly aggressive portfolio management, and failure to hold licenses in jurisdictions where he was selling securities.  It also appears that he was previously fined by the Financial Industry Regulatory Authority (FINRA) for $10,000.00 for taking trade direction on an account from someone other than his customer.

 

Daren Dorval is currently a financial advisor and registered representative of Legend Securities, Inc. in Titon Falls, New Jersey.  He was also an advisor with VFinance Investments, Inc. from January 2001 to September 2009.

 

Brokerage firms have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Iowa. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including AXA Advisors, LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.

 

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